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UNIVERSITY CODE OF CONDUCT
Date approved |
2 June 2000 |
Date Policy will take effect |
2 June 2000 |
Date of Next Review |
August 2014 |
Approved by |
University Council | ||||
Custodian title & e-mail address |
Director, Human Resources Division | ||||
Author |
Policy & Governance Unit, Academic Registrar’s Division | ||||
Responsible Faculty/ |
Human Resources Division | ||||
Supporting documents, procedures & forms of this policy |
Anti-Bullying Policy UOW Occupational Health and Safety website General Staff Misconduct Guidelines | ||||
References & Legislation |
Equal Opportunity for Women in the Workplace Act 1999 (Commonwealth) Protected Disclosure Guidelines (NSW Ombudsman’s Office) | ||||
Audience |
Public – accessible to anyone | ||||
Expiry Date of Policy |
Not applicable | ||||
Contents
6 Standards Required of Staff and Affiliates 6
7 University Resources and Reputation 8
9 Guidance on Ethical Issues 11
11 Limit on Confidentiality 12
12 Roles & Responsibilities 13
13 Version Control and Change History 13
- 1. The University of Wollongong is committed to promoting and celebrating its values of:
- through initiative, enterprise and achievements that take society forward
- openness and freedom of opinion
- mutual respect and collegiality
- of cultures, ideas and peoples
- perspectives and reconciliation
- quality and accountability as an institution
- partnerships and mutual development
- and social justice
- stewardship of the natural environment
- 2. This Code of Conduct is consistent with the University’s vision, mission and principles as defined in its strategic planning documents.
- 1. The University is accountable to its staff, students, the public and to government. It is in the interests of the University, its staff and affiliates and all other members of the University community to maintain the highest possible ethical standards of accuracy, honesty, cooperation, tolerance and acceptance of obligations as well as rights.
- 2. The University recognises that its staff are its greatest asset and aims to sustain a staffing culture distinguished by enterprise, creativity, inclusiveness and mutual respect. This Code provides a behavioural framework which conveys the obligations and standards of behaviour expected of the University and its staff and affiliates . It also provides guidance in resolving any ethical issues that may arise during the course of duties undertaken by staff and affiliates.
- 1. The University follows several guiding principles in pursuit of its objectives. These guiding principles include, most importantly, consideration of and support for the professional development of, and intellectual and cultural needs of, staff and the student body.
- 2. To this end, staff and affiliates have:
- a. A duty to observe standards of equity and respect when dealing with every member of the University community;
- b. An obligation to protect the reputation of the University and behave responsibly in the stewardship of the University’s reputation and resources; and
- c. An obligation to act appropriately should a conflict of interest arise between their individual interests and their duty to the University.
- 3. Staff and affiliates are required to remain informed about, act within the spirit of, and comply with the University’s policies and directions, as well as any regulatory requirements of their discipline or profession, and relevant legislation.
- 1. This Code applies to all staff and affiliates of the University. It covers all circumstances when staff or affiliates are performing duties for the University, such as work-related functions, travel and conferences, or any circumstances when staff or affiliates are representing the University. This Code stands beside but does not exclude or replace other legally binding obligations including those referred to in ‘References and Legislation’. The University's policy documents provide the framework for this Code.
- 2. This Code does not apply to students except where they are also staff or affiliates of the University, and only for those duties the student performs as a staff member or affiliate.
- 3. This Code does not apply to University Council members, whose conduct is governed by the University Council Handbook and Council Code of Conduct.
- 4. This Code does not apply to staff of controlled entities of the University of Wollongong as those organisations are expected to have their own Codes of Conduct.
Term |
Definition |
||
Affiliates |
People holding University of Wollongong Honorary Awards as conferred by the University Council, including the lifetime awards of Emeritus Professor, Honorary Doctor and University Fellow; people appointed in accordance with the University’s Appointment of Visiting and Honorary Academics Policy. | ||
Confidential information |
Information that is by its nature confidential, is marked as confidential, is known to be confidential, or which ought to have been known as confidential, including but not limited to personal and health information and information contained in student records and databases, employment contracts and records, commercial and legal agreements. | ||
Conflict of interest |
Exists where there is a divergence between the individual interests of a staff member or affiliates and their professional obligation to the University, such that an independent observer might reasonably question whether the professional actions or decisions of that staff member are influenced by their own interests or are for their own benefit. | ||
Conjoint appointment |
Appointment of a staff member made by the University in conjunction with another organisation, often underpinned by an agreement between the two organisations. | ||
Corrupt conduct |
Deliberate or intentional wrongdoing of staff or affiliates is when they improperly use the knowledge, power or resources of their position for personal gain or the advantage of others, or act dishonestly or unfairly in their position, or conduct themselves in a way that breaches public trust. | ||
Disclosures Coordinator |
Officer appointed by Vice-Chancellor under Delegation 25.05. | ||
Disclosure Officer |
Officer with delegated authority to receive reports of wrongdoing. | ||
Fiduciary relationship |
A legal or ethical relationship of confidence or trust between staff or affiliates and the University. | ||
Fraud |
Includes, theft, criminal deception, making false representations to gain an unjust advantage, abuse of University property or time, and the use of deceit or secrecy to obtain a financial benefit to the detriment of the University. | ||
Health information |
As defined in Part 1 of the Health Records and Information Privacy Act 2002 (NSW), information about a person’s physical or mental health or disability, about their express wishes about future health services, about health services provided to a person; information collected to provide a health service; information about donation of body parts by a person; genetic or information predictive of health. | ||
Natural justice |
Principles that ensure decision-making is fair and reasonable. These include decision-makers informing people of the case against them or their interests, giving people a right to be heard, decision-makers not having a personal interest in the outcome, and acting only on the basis of logically probative evidence; that is, evidence that tends logically to prove the existence or non-existence of a fact. Principles of procedural fairness and natural justice are set out in the University’s Grievance Policy. | ||
Personal information |
As defined in Part 1 of the Health Records and Information Privacy Act 2002 (NSW), any information or opinion about a person whose identity is apparent or can reasonably be deducted from the information. | ||
Policy documents |
University Rules, Standards, Codes, Policies, Procedures and Guidelines | ||
A disclosure satisfying the applicable requirements of Section 2 of the Public Interest Disclosures Act 1994 (NSW). Simply speaking, this means a disclosure made voluntarily by a public official (such as a staff member or affiliate of the University) internally or to an external investigating authority, that shows or tends to show maladministration, corrupt conduct or a serious and substantial waste of public money | |||
Staff |
All persons appointed by the University as academic or general staff regardless of their level of seniority and regardless of whether holding full-time, part-time, or limited-term appointments, including conjoint appointments. For the purposes of this policy, it also includes all persons engaged by the University as casual employees. | ||
Theft |
The dishonest appropriation of the University's property with intent to deprive the University of it permanently. | ||
University resources |
University property, both tangible and intangible, including but not limited to, goods, facilities and equipment such as mobile phones and credit cards, IT resources, personal information, health information, confidential information, records, marketing materials, vehicles, stationery and the intellectual property of the University. | ||
Respect, Tolerance and Equitable Treatment
- 1. The University is committed to ensuring an environment that values people and is conducive to good work and academic outcomes and practices. All members of the University community are entitled to be treated with respect and given equal opportunities regardless of personal, social or cultural characteristics, and have the right to experience a safe work environment free from unfair treatment, discrimination, harassment, victimisation, vilification or bullying.
- 2. In supporting its commitment to respect, tolerance and equitable treatment, the University developed EO Online, a self-paced, online equal opportunity professional development program. Consisting of two modules, EO Online employs interactive learning techniques and contains many real life examples. Staff are required to complete EO Online to satisfy probation and are encouraged to periodically revisit the program to refresh their knowledge or use the program as a resource when necessary. Completion of EO Online is mandatory to satisfy probation.
- 3. Staff or affiliates who become aware of, or believe they are the recipient of, unfair treatment, discrimination, harassment, victimisation, vilification or bullying should refer their concerns to the relevant Specialist Unit in accordance with the University’s Grievance Policy.
- 4. Managers and Heads of Units are required to understand and apply the principles of equal employment opportunity, and to ensure that the employees whom they supervise understand and adhere to these principles and the requirements of the University's Equal Employment Opportunity and Affirmative Action Policy, Respect for Diversity Policy, Disability Policy–Staff, Sexual Harassment Prevention Policy, Anti-Bullying Policy and Non-Discriminatory Language Practice and Presentation Policy and Guidelines.
Occupational Health and Safety
- 5. The University is committed to ensuring the health, safety and welfare of its staff and the health and safety of students, visitors and contractors, and strives to foster the development of safety consciousness in all members of the University community. The University has a moral and a legal responsibility to provide a safe and healthy environment in which to study and work.
- 6. Staff and affiliates must take reasonable care regarding the health, safety and welfare of themselves and others in the University community. Individually and collectively, staff and affiliates have occupational health and safety responsibilities which include:
- work in a safe manner and properly using and maintaining machinery and equipment;
- health and safety instructions and taking notice of signs;
- in safety training and wearing or using safety equipment provided;
- their supervisor or the University’s Occupational Health and Safety Unit about hazards or other safety matters they become aware of; and
- unsafe acts, hazards or incidents which pose a risk to health and safety. Where possible, such reporting should be done via the University’s online reporting system which is available on the Occupational Health and Safety website.
- 7. Further information on occupational health and safety can be found in the University’s Occupational Health and Safety Policy, OHS Management Plan and associated procedures, and on the University’s Occupational Health and Safety website.
- 8. Staff and affiliates should ensure they do not attend work or perform their duties or functions while under the influence of drugs or alcohol. Being affected by alcohol or drugs at work can seriously compromise the health, safety and welfare of all members of the University community, and may also expose the University to legal liability in some circumstances. The University’s Policy on Alcohol and Drugs in Employment and Guidelines on the Use and Management of Alcohol set out in further details these obligations.
Working with Children and Young People
- 9. The Commission for Children and Young People Act 1998 (NSW) prohibits the hiring or employment of persons in child-related employment who have been found guilty of committing serious sex offences. While this legislation does not apply to universities, the University recognises that there may be some situations that involve direct unsupervised contact with children, for example programs specifically developed for participation by high school students, or research involving children. The University therefore has an obligation to ensure that children are protected from harm.
- 10. All staff and affiliates must be mindful of their position of authority with respect to children and must ensure that their interactions with children are ethical and do not amount to an abuse of that position.
- 11. The University has a responsibility to ensure staff, affiliates and applicants for positions are suitable for child-related positions. The Commission for Children and Young People Act 1998 (NSW) requires that people who work or volunteer in child-related work apply for and pass a Working with Children Check.
- 12. The approved screening agency for the University is the NSW Commission for Children and Young People. An offer of employment by the University for a child related position should not be made until the results of the check are received. No prohibited person will be retained in or appointed to work in child related employment within the University, whether on a continuing, fixed term or casual mode of employment.
- 13. Further information on this matter can be found on the University’s Human Resources Division intranet page and the Working with Children Check website.
Confidentiality of Information and Privacy
- 14. In the course of its business, the University has access to and use of confidential information about students, staff, affiliates and commercial organisations, and is committed to protecting the confidentiality of all such information at all times.
- 15. Under Australian common law, staff and affiliates have a fiduciary relationship with the University, meaning they have an obligation to the University to maintain the confidentiality of confidential information of the University, Staff and affiliates with access to confidential information must therefore maintain strict confidentiality of all such information that comes into their possession.
- 16. When collecting, using, storing, securing and disclosing personal and health information, staff and affiliates are required to comply with the University’s Privacy Policy and relevant privacy legislation.
- 17. Further information about the University’s privacy obligations can be found in the University’s Privacy Policy and Privacy Information Sheet – General, the Privacy and Personal Information Protection Act 1998, and the Health Records and Information Privacy Act 2002.
- 1. The University recognises the need to protect its reputation by maintaining ethical standards, fairness and integrity in all its dealings, avoiding any activity or interest that might reflect unfavourably upon the integrity and reputation of the University.
Academic Freedom
- 2. The University is committed to the protection and promotion of intellectual freedom within the University. In the performance of their duties, academic staff have the right to:
- critical and open inquiry;
- and publish;
- in public debates and express opinions, including unpopular or controversial opinions about issues and ideas;
- in an appropriate form in decision making processes and structures germane to their field of expertise and onus of responsibility within the University;
- assess and develop curricula within the processes laid down by the University Council; and
- in professional and representative bodies, including unions, and engage in community service;
without fear of harassment, intimidation, bullying, victimisation, vilification or unfair treatment and without using these as a basis for personal attack on others.
Public Comment
- 3. The University recognises the traditional role of staff and affiliates in making informed comment on societal values, behaviours, customs and practices, in challenging beliefs, practices, policies and structures, and in participating in public debate on issues of professional and public concern. Members of the University community are encouraged to participate in public debate on issues of professional and public concern.
- 4. Views which are attributed to the University as a corporate body may be expressed to the public only in accordance with the University’s Use of University Name in Public Statements Policy, Delegations of Authority Policy and Social Networking Use Guidelines. When making public comments that are not made as an official representative of the University pursuant to the above policies, staff and affiliates of the University must make it clear that they are expressing individually held opinions that are not necessarily those of the University.
Intellectual Property
- 5. Staff and affiliates are required to deal with the intellectual property of the University in accordance with the University’s IP Intellectual Property Policy and accompanying IP policy framework.
Travel
- 6. When conducting business on behalf of the University, staff and affiliates are often required to travel within Australia or overseas, to attend conferences or meetings or to conduct research. At all times during such travel, staff and affiliates are considered ambassadors of the University and are responsible for representing the University community in a positive way.
- 7. Further information about travelling on behalf of the University can be found in the Travel and Entertainment Policy and Travel Policy relating to Motor Vehicle Use, and staff and affiliates must comply with these policies when organising and conducting such travel.
University Resources
- 8. Staff and affiliates are responsible for the effective and economical use of University resources and have a duty to care for and safeguard University resources within their possession or control. Limited personal use of University facilities and equipment, which staff or affiliates may use in their daily duties, may be permitted, provided that the use is not excessive, complies with University policies or procedures, does not interfere with the performance of University duties or functions, is not for any commercial activity or pecuniary gain, and in all circumstances is reasonable.
- 9. When using University facilities and equipment, staff and affiliates must comply with relevant University policy documents and employment agreements. These include but are not limited to the IT Acceptable Use Policy, Mobile Phone Policy, Email Access Policy, and Internet Access Policy.
Financial Transactions and Purchasing
- 10. During the course of their duties, many staff and affiliates may be involved in financial transactions with or on behalf of the University, such as applying for or authorising petty cash payments, using or authorising payments made by a University credit card, purchasing and procurement of supplies and other items, and applying for and authorising payments to staff members as reimbursement for work-related expenses.
- 11. To provide guidance on such transactions, the University has in place several policies including the Corporate Credit Card Policy, Purchasing and Procurement Policy, and the Delegations of Authority Policy. Staff members and affiliates involved in financial transactions with the University are strongly encouraged to make themselves aware of the content of the relevant policy, so that they may avoid taking actions that may inadvertently expose themselves to allegations of mishandling or misappropriation or acting without delegation.
Records Management
- 12. Most of the University’s business activities involve the collection, creation, analysis and dissemination of information. To ensure business continuity and to use information effectively and efficiently, it is essential that adequate records are made of the University’s business activities and that such records be adequately managed.
- 13. Staff and affiliates are obliged to collect, create, analyse and disseminate information and records in accordance with the University’s Records Management Policy, Records Handling Guidelines and accompanying records management framework.
- 14. In addition to its records management framework, the University must also comply with its legal responsibilities under the State Records Act 1998 (NSW).
Fraud and Corruption Prevention
- 15. Staff and affiliates must report to the University any suspicion held on reasonable grounds of theft, fraud, corrupt conduct, or maladministration on the part of any member of the University community, or of serious and substantial waste of University resources.
- 16. Allegations of theft, fraud, corrupt conduct and/or maladministration may be reported in confidence by:
- a) Staff, to that staff member’s supervisor, relevant Head of School or Business Unit; or
- b) An affiliate, to the relevant Head of School or Business Unit.
- who will treat the allegation and conduct an investigation as appropriate.
- Should a staff member consider it inappropriate to disclose an allegation of theft, fraud, corrupt conduct or maladministration to their supervisor, disclosure may be made directly to the Dean of their Faculty or the Director of their Business Unit or a member of the Senior Executive, or made as a Protected Disclosure. Further information may be found in the University's Corruption Prevention Policy.
Protected Disclosure
- Occasionally, a staff member may consider it appropriate to report an allegation of theft, fraud, corrupt conduct and/or maladministration as a protected disclosure. Such disclosures may be made in accordance with the Public Interest Disclosure Policy:
a. Internally – to the Vice-Chancellor or the University’s Disclosure Coordinator, or a Disclosure Officer
b. Externally –
i. For allegations of maladministration to the NSW Ombudsman,
ii. For allegations of corrupt conduct to the Independent Committee Against Corruption (ICAC), or
iii. For allegations of serious and substantial waste of public money to the NSW Auditor-General
iv. For allegations of government information contravention to the Information Commissioner.
- All disclosures must be properly dealt with in accordance with the Public Interest Disclosure Policy.
- Disclosures which are frivolous or vexatious, which primarily question the merits of government policy or are made in an attempt to avoid dismissal or disciplinary action will not be protected by the Public Interest Disclosures Act 1994 (NSW).
- Further information about protected disclosures can be found in the University’s Public Interest Disclosure Policy.
- 1. In all personal and business interactions, staff and affiliates are to observe high standards of ethical behaviour and avoid any activity or interest that might reflect unfavourably upon the University. Staff and affiliates are obliged to adhere to the principles set out in the University’s Conflict of Interest Policy and Close Personal Relationships Guidelines to ensure that their activities and interests do not conflict with their obligations to, or the welfare of, the University.
Secondary Employment
- 2. In valuing the expertise of its people, the University recognises that staff may engage in paid or unpaid outside employment or private practice. Outside employment should not create a conflict of interests with their duties to the University and must be approved in accordance with the University’s Secondary Employment Policy or Commercial Research Policy. Such approval must be received prior to commencement of the secondary employment or commercial research.
Gifts or Benefits
- 3. Gifts or benefits that could appear to influence any aspect of a staff member or affiliate’s professional duties may be perceived by others as an inducement. Neither staff nor affiliates may give or receive gifts or favours that could create a conflict of interest, compromise their judgement, damage relationships with others or indicate any favouritism or prejudice towards a person or group of people.
- 4. In general, staff and affiliates must not accept or confer gifts or benefits unless they comply with the University’s Conflict of Interest Policy. Under that Policy, any gift or benefit (including a gift of hospitality) with a value in excess of $100 must be recorded on the Register of Reportable Gifts, which is maintained by the Vice-Principal (Administration). Staff and affiliates are also required to comply with appropriate State and Federal legislation regarding the giving and receiving of gifts or favours.
- 5. Issues of cultural sensitivity are important in the University environment, as many staff and students are from diverse backgrounds where certain practices in relation to gift giving and receiving are considered appropriate. In some cases, it may be difficult to judge whether or not the giving or receiving of a gift constitutes a conflict of interest or inducement. When in doubt, staff and affiliates should seek advice from their Head of Unit.
- 1. The University acknowledges that it cannot formulate policies to address all issues which may be faced by staff and affiliates. The development of an ethical environment relies on each person taking responsibility for his or her own behaviour after considering State and Federal law, the University's stated values, the provisions of the University’s codes and policies and any other professional codes applicable to that person.
- 2. Staff and affiliates should ensure their activities and interests do not create a conflict of interest with their obligations to, or the welfare of, the University, and should avoid ethical, legal, financial or other conflicts of interest. When making decisions related to the University, staff and affiliates are required to consider:
- or not the decision complies with the University’s legal obligations;
- or not any conflicts of interest arise from the decision; and
- possible impact of the decision on others and on the reputation of the University.
- 3. Staff and affiliates may occasionally be confronted with ethical dilemmas in which there is a perceived conflict of interest or duty or loyalty to the University but which may have no single correct or straightforward answer. Advice on ethical issues may be obtained from a range of sources within the University depending on the context, including:
- of Faculties and Directors of Business Units
- Dean of Students
- Director of the Employment, Equity and Diversity Unit
- Director of the Human Resources Division
- University’s Legal Counsel
- University’s Internal Audit Manager
- Manager of Staff Relations
- members of staff.
- 4. Advice on ethical issues may also be obtained from sources outside the University, for example:
- National Health and Medical Research Council
- St James Ethics Centre
- associations.
- 1. All staff and affiliates are required to comply with this Code.
- 2. Any alleged breaches of this Code will be dealt with in accordance with the applicable University policy document, enterprise agreement, industrial instrument or contract.
- 3. In the case of an alleged breach of this Code that is not covered by a University policy document, enterprise agreement, industrial instrument or contract, the University will apply the principles of natural justice when investigating such a complaint.
- 4. If an allegation is found to be proven, in serious cases:
- a) Staff may have their employment terminated.
- b) Affiliates may have action taken against them which may include termination or non-renewal of their contract or appointment.
- 5. The University treats all complaints seriously and makes every effort to expeditiously investigate complaints in accordance with the University’s policy documents. Where there is no relevant process for dealing with an alleged breach of this Code, the University will take steps to ensure the allegation is properly considered and, if proven, that appropriate action is taken.
- 6. The University acknowledges that multiple pathways exist for dealing with complaints. It is useful, prior to making a complaint, to consult with appropriate persons to identify the best way to proceed. These could include the Employment Equity and Diversity Unit, the Policy and Governance Unit, the Human Resources Division or the Dean of Students. Staff and affiliates should make every effort to direct complaints in accordance with the appropriate complaints mechanism.
- 1. Any confidentiality regarding conduct arising under this Code of Conduct is limited by the University’s obligations under law to disclose certain conduct to relevant authorities. For example, the University has an obligation to disclose corrupt conduct to ICAC, and to disclose serious indictable offences to NSW Police.
- 1. It is the responsibility of staff and affiliates to be aware of and conduct themselves in accordance with this Code and related policy documents.
- 2. It is the responsibility of supervisors, managers, Deans, Directors and Heads of Units to:
- a) Ensure that new staff and affiliates are introduced to the provisions of this Code and related policy documents;
- b) Ensure that staff under their supervision fulfil the requirements of their induction by being aware of the University’s policy documents;
- c) Ensure that staff are aware of, and periodically renew their awareness of, this Code;
- d) Model good behaviour consistent with this Code and related policy documents; and
- e) Appropriately respond to reports of contravention of this Code.
- 3. It is the responsibility of the University to:
- a) Ensure this Code is accessible and communicated to all staff and affiliates; and
- b) Ensure this Code is implemented and applied consistently throughout the University community.
Version Control |
Date Effective |
Approved By |
Amendment |
1 |
2 June 2000 |
University Council |
New Policy |
2 |
6 May 2009 |
Vice-Principal (Administration) |
Migrated to UOW Policy Template as per Policy Directory Refresh |
3 |
9 March 2010 |
Vice-Principal (Administration) |
New review date identified in accordance with Standard on UOW Policy |
4 |
5 August 2011 |
University Council |
Review of Code in line with review date, resulting in substantial revisions. |
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